FIF has scheduled a joint call for the Rule 605 and Rule 606 Working Groups for Tuesday December 9 at 1 pm ET. The Working Groups will continue the discussion of open interpretive questions relating to implementation of the Rule 605 amendments, including reporting for different order types and orders with different characteristics.
POSTED Dec 08,2025
FIF has scheduled a joint call for the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group for Tuesday December 9 at 2 pm ET. The Working Groups will continue the discussion of a calendar and PowerPoint presentation on upcoming regulatory implementations.
POSTED Dec 08,2025
FIF has scheduled a call for the SLATE Working Group for Thursday December 11 at 11 am ET. The Working Group will continue its discussion of issues relating to SLATE implementation to raise with the SEC and FINRA.
POSTED Dec 08,2025
FIF has scheduled the December CAT Monthly Update Working Group call for Thursday December 11 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS and CAT billing.
POSTED Dec 08,2025
The next call for the Cybersecurity Working Group will be on Tuesday December 16 at 3 pm ET. Monsurat Ottun from the Cybersecurity and Infrastructure Security Agency (CISA) will discuss current threats to the financial industry.
POSTED Dec 08,2025
Wir bieten unseren Kunden mit nützlichen Informationen und Ratschläge, die sie benötigen, fundierte Entscheidungen zu treffen, ihre Ziele zu erreichen. Ob es sich um die Verwaltung von Kundeninvestitionen oder einen umfassenden Plan für sie zu schaffen und ihre Familie sind unsere zertifizierten Planern gewidmet mit einem außergewöhnlichen Service zu bieten.
Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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